Catherine Alexis Sam Cheung

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-05-26
CA	RA	APPROVED	2020-03-11

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Francisco	CA	10/2019	Present
Unemployed	Irvine	CA	06/2017	10/2019
University Of California, Los Angeles	Los Angeles	CA	09/2017	03/2019
San Mateo Union High School District	San Mateo	CA	01/2017	05/2017
Skyline College	San Bruno	CA	01/2016	05/2017
Bank Of America, N.A.	San Francisco	CA	12/2019	Present

10/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA
06/2017 → 10/2019

Unemployed

Irvine, CA
09/2017 → 03/2019

University Of California, Los Angeles

Los Angeles, CA
01/2017 → 05/2017

San Mateo Union High School District

San Mateo, CA
01/2016 → 05/2017

Skyline College

San Bruno, CA
12/2019 → Present

Bank Of America, N.A.

San Francisco, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-03-10